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KS21

Competency and competency management systems in facilities management

Direct and accessible guidance from key subject overviews to implementing practical solutions

CIBSE KNOWLEDGE SERIES

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Note from the publisherThis publication is primarily intended to provide guidance to those responsible for the design, installation, commissioning, operation and maintenance of building services. It is not intended to be exhaustive or definitive and it will be necessary for users of the guidance given to exercise their own professional judgement when deciding whether to abide by or depart from it.

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CIBSE Knowledge Series: KS21

AuthorsStephen Gathergood Stephen Hunter Joanna Harris

EditorKen Butcher

CIBSE Head of KnowledgeNicholas Peake





Foreword

The publication of CIBSE Knowledge Series KS21: Competency and competency management systems in facilities management fills a significant gap in the range of publications produced by CIBSE and augments guidance currently available.

The production and work within this guidance is as a result of a sub-group of the CIBSE Maintenance Task Group in association with the CIBSE Facilities Management Group and I extend my thanks to them for their tireless effort, valued contribution, personal time and breadth of knowledge in bringing this guidance to being.

It is not intended as a definitive work, nor is it a model solution to achieve and maintain competency in every case. It is however a useful guide for building owners, maintainers and operators, and facilities managers as to how they can demonstrate the effective management of individual competency and in so doing contribute to corporate competency.

Due to the infinite range of possible scenarios, and the wide-ranging complexity, especially in relation to safety related systems, users of this guide, once competent, must exercise their own professional judgement in the application of the principles discussed.

In all cases it should be remembered that the effort expended in establishing and ensuring competency should be in proportion to the risk of inadequate competence.

Geoff PrudenceChair, CIBSE Facilities Management Group 2017

NoteAlthough every care has been taken in its development, CIBSE cannot accept responsibility for any loss or negligence arising out of its use. The use of terms ‘should’, ‘consider’, ‘good or best practice’ are opinions only and do not carry any legal implications.





Contents

1 Introduction ..............................................................................1

2 Competence ..............................................................................22.1 The legislative environment ..................................................32.2 Risk and proportionality .......................................................52.3 Liability of the competent person .........................................6

3 The competence journey ..........................................................8

4 Competency certification .........................................................8

5 Organisational ‘de-risking’ ..................................................... 10

6 Human resource and talent management ............................. 116.1 Resource management ...................................................... 116.2 Performance appraisals and development reviews ........... 12

7 Training and continuing professional development (CPD) .... 147.1 Training ............................................................................... 147.2 Continuing professional development (CPD) ..................... 157.3 Evidence and record keeping ............................................. 16

8 Competency management systems (CMS) ............................ 18

9 Benefits of having a competency management system ......... 19

10 Competency management and continuous improvement .....22

References ............................................................................................23

Further reading ....................................................................................25

Appendices ........................................................................................... 26Appendix 1: CPD methods and techniques .....................................2 6Appendix 2: Example legislative citations and references to competence ....................................................................... 28Appendix 3: Examples of United Kingdom case law and examples of legal precedent ...............................................31Appendix 4: Sample compentency assessment checklists ................35




Competency and competency management systems in facilities management 1

1 Introduction

Management of our existing building stock is suffering from a decline in skilled staff entering the industry as a result of political change and corporate pressures to perform financially. Legislation calls for competent persons to manage risk but the term competence is rarely clearly defined, creating a corporate dilemma. The organisation retains responsibility and needs to be able to demonstrate its compliance and competent staff are required to do this.

The concept of competence and competency was first discussed in the late 1950s and today remains an area that continues to have a broad definition. There are differing interpretations across other industries and sectors. In their publication A Five-Stage Model of the Mental Activities Involved in Directed Skill Acquisition, Dreyfus and Dreyfus (1980) commented that competency has many different meanings. As a result, competency continues to be one of the most diffuse terms within both the management sector and within organisational literature.

This guide provides an understanding of competence and competency, focusing on the management of building engineering systems in operational buildings, although the concept is equally valid for other disciplines including management. It details the journey individuals and organisations need to take to become competent and how to maintain and manage linking to human resources (HR) and talent management. It is not intended as definitive or a model solution in every case; sample templates are included that can be adapted. The aim is to demonstrate how to review and apply effective management of competency, which is scalable to small and medium size organisations as well as large corporate bodies.

All organisations can benefit from implementing a competency management system, which should be proportional to the size of the organisation. It allows a quantifiable and consistent approach to the management of risk and can:

— create competence awareness across the organisation’s operation, improving standards and efficiency

— be used to identify key resources necessary for business continuity

— aid identification of skills gaps and support succession planning

— support commitment to continuing personnel development

— provide a market differentiator to potentially new customers

— be adaptable and configurable to suit your organisation

— create sustainable organisations where individual and organisational competency allows the use of the right people with the right skills.




Competency and competency management systems in facilities management2

Most organisations will already have systems that can be developed cost effectively to form an improved competence management system (CMS).

The CMS will provide a structured framework for the management and development of resources to the required competence.

The need to be competent is increasingly identified as a base criterion within both legislative and best practice documentation as an entry level requirement to enable an organisation or individual to undertake a particular job, function or task. It is not something that can be gained overnight or granted by a job title, it takes time and is usually gained through a mix of different learning methods.

In organisations the concept of competence and its management should be regularly reviewed. It is the organisation’s responsibility to assess what constitutes competence and how it is developed, managed and maintained. This guide provides the framework for reviewing and embedding competency management. The framework requires that individuals need to be assessed under an appropriate process. Fundamental to the maintenance of competence is the need to operate an auditable competency management system.

2 Competence

There are many definitions of competence, which include:

‘Competence is the ability to carry out a task to an effective standard. To achieve competence requires the right level of knowledge, understanding and skill, and a professional attitude. Competence is developed by a combination of formal and informal learning, and training and experience, generally known as initial professional development.’ [UK-Spec: UK Standard for Professional Engineering Competence (Engineering Council, 2014)]

‘Competence can be described as the combination of training, skills, experience and knowledge that a person has and their ability to apply them to perform a task safely. Other factors, such as attitude and physical ability, can also affect someone’s competence.’ [What is competence? (HSE, online)]

‘Competence is a combination of practical and thinking skills, experience and knowledge, that may include a willingness to undertake work activities in accordance with agreed standards, rules and procedures (conscientiousness).’ [Developing and maintaining staff competence (Office of Rail and Road, 2016)]





‘A competent person being one who can demonstrate that they have sufficient professional or technical training, knowledge, actual experience and authority…. (where authority means delegated authority to the individual by his employer to carry out a certain function or duty).’ [BS 8485 (BSI, 2015a)]

These definitions do not explicitly refer to safety but holistically relate to ensuring that the right person is assigned the right task. This means they must have the right technical capability, aptitude, training, authority, self-limitations and understanding of the task.

There are few legal examples or prosecutions that assist with the definition of competence, more so the treatment of individual or corporate negligence. This may be because of the level of interpretation and the numerous variables involved. It may also be due to a general lack of precedent within the judicial system over a subject area where the ramifications could potentially be far reaching.

Notwithstanding this it is clear that competency must be assessed, hazards and risks for a known task identified, and the level of competence established whereby the outcome of undertaking the task will ensure, as far as is reasonably practicable, that it is safe and satisfactory. Training and certification are factors that can be used as a means of establishing competence in addition to experience.

Some case law does exist to help put the above into perspective and to reinforce the importance of competency, this is detailed in the Appendix 3.

2.1 The legislative environment

Early UK legislation recognised the need for competence in a wide range of areas, but none more so than in the area of health and safety. In 1974, the Health and Safety At Work etc. Act 1974 (HMSO, 1974) placed legal obligations upon employers and the self-employed to ensure that employees and others who may be affected by their undertakings were not, as far as was deemed reasonably practicable, exposed to risks to their health and safety. Of particular importance, this included the provision of safe systems of work, supervision and training.

The Management of Health and Safety at Work Regulations 1999 (TSO, 1999) is the statutory instrument put in place to provide the necessary means of meeting the requirements of the Health and Safety at Work etc Act 1974. The regulations require that employers undertake suitable and sufficient risk assessments of activities that introduce risk to their employees and others, including contractors and the public. The control measures that resulted from





these assessments need to encompass training, knowledge and experience — in other words demonstration of competence.

The term competence and competency are used in Acts and numerous Regulations, and augmented within Approved Codes of Practice. The terms are further reinforced in many guidance documents. The UK legislative framework which puts these terms into context is shown in Figure 1.

Act

Secondary legislation

Statutory guidance

Other professional guidanceand standards

Primary legislation — legislated rule of society, which has the force of law

Statutory guidance — e.g. Approved Codes of Practice

Secondary legislation — e.g. Regulations

Establishes best practice, of whicha competent person should be aware

Further, and by way of example, competence is an implicit element of:

— Health and Safety at Work etc Act 1974 (HMSO, 1974), Sections 2 and 3

— Construction (Design and Management) Regulations 2015 (TSO, 2015a), Regulation 8

— Control of Major Accident Hazard Regulations 2015 (COMAH) (TSO, 2015b), Regulation 4

— Environmental Permitting (England and Wales) Regulations 2010 (TSO, 2010)

— Pollution Prevention and Control Regulations (Scotland) 2000 (TSO, 2000a), Regulations 3, 7 and 8.

And in the same way, is an explicit element of;

— Management of Health and Safety at Work Regulations 1999 (TSO, 1999), Regulation 5,

— HSG65: Managing for health and safety (HSE, 2013a)

— Electricity at Work Regulations 1989 (TSO,1989), Regulation 16,

— BS 5839-1: 2013: Fire detection and fire alarm systems for buildings. Code of practice for design, installation, commissioning and maintenance of systems in non-domestic premises Fire detection and fire alarm systems for buildings (BSI, 2013)

— Control of Major Accident Hazard Regulations 2015 (COMAH) (TSO, 2015), Regulations 5 and 7

Figure 1: Legislative framework for documentation





— Pollution Prevention and Control Regulations (Scotland) 2000 (TSO, 2000a), Regulation 7.

A non-exhaustive set of legislative citations and references to competence are detailed within Appendix 2.

The format of most legislation is objective or goal oriented — in other words, written to achieve a desired objective or outcome. Within the built environment this could be, for example, a safe workplace, whilst for human resources the provision of suitable and sufficient training is often a stated objective. It is imposed as a duty, but the means of achieving the outcome is not necessarily prescribed in any meaningful detail, which can make demonstration of compliance difficult.

2.2 Risk and proportionality

Judicial systems in the UK and throughout the world are based upon a framework of compensation where the penalty handed down for a particular crime is judged to be both appropriate and proportionate. Whilst on some occasions, due to the complexity of law, the legal system is criticised for being unduly harsh or unduly lenient, in the majority of cases sentencing is consistent and based upon precedent.

Competence is very much the same; the level of competence that is required by an individual or organisation to undertake a specific job, function or task should always be in proportion to the importance of that task and the risks associated with its delivery.

Paragraph 16 of the Electricity at Work Regulations 1989 (TSO, 1989) states that: ‘ No person shall be engaged in any work activity where technical

knowledge or experience is necessary to prevent danger or, where appropriate, injury, unless he possesses such knowledge or experience, or is under such degree of supervision as may be appropriate having regard to the nature of the work.’

This statement applies to all work but is particularly important for safety related systems or high risk technical activities where risk assessments define the safe systems of work. The Regulations do not specifically refer to competence but it does emphasise the need for supervision and by inference management. The Competence Continuum provided in Figure 2 below indicates that the level of supervision (and thus management) is inversely proportional to the level of competence that is necessary to undertake a prescribed job, function or task but also sensitive to the influence of external factors that may act upon the individual or the work activity.





Change inenvironment

Change inbehaviour

Change intechnology

Newtechnology

Risks andmitigationstrategies

Attitudeand cognitive

attributes

Training andcertification

Skills andknowledge

Expertise andexperience

Maximumsupervision

Minimumsupervision

Supervision increases or decreases proportionallyas the level of competence decreases or increases

Decreasing competence Increasing competence

External factors

For example a professional engineer could be placed at the right of the continuum, whereas an apprentice would be to the left for a particular task.

2.3 Liability of the competent person

Within the facilities management (FM) sector, job titles are often quoted in job descriptions but without definition. To assist in the definition, particularly in relation to some safety related or higher risk technical systems such as high and low voltage electrical systems, pressure systems, gas systems, water treatment, control of legionellosis etc., specific appointments have been generally adopted to align with the Ministry of Defence (MoD, 2017) and healthcare environments (NHS, various dates).

The following roles are examples of engineering management hierarchy; in some cases these roles can be organisations rather than individuals:

— senior authorising engineer (SAE)

— authorising engineer (AE)

— approved person (AP)

— competent person (CP)

— designated person (DP)

— responsible person (RP)

— deputy responsible person (DRP).

Appointment to these roles is not a competency in its own right but is intrinsically linked by competence and must be auditable and demonstrable. These appointments assert an increased level of competence and are required to have defined responsibilities and boundaries.

Figure 2: The competence continuum (courtesy Stephen Gathergood)





A competent person, as a result of their established competence will attract a higher level of responsibility for a specific job, function or task. Competence implies that others can more readily rely upon that individual’s expertise and advice. It follows therefore that if legally challenged, a competent person could attract a greater liability than if they were an ordinary employee, especially in the area of negligence.

In cases where there is a need to establish liability, competent employees would usually be measured against other similarly competent employees within the organisation or externally as need be — not against ordinary employees. If advice is given by a competent person that is subsequently found to be wrong, or if they fail to act upon available information or take appropriate action, they may be considered liable, particularly if it is possible to establish that a comparably competent person would have provided different advice or acted differently in the same circumstances.

Negligence in its simplest form is careless conduct, but in detail can be explained as the omission to do something that a reasonable person, guided upon those considerations that ordinarily regulate the conduct of human affairs, would do, or doing something that a prudent and reasonable person would not do. There are three connected elements that can be used to establish that negligence has taken place:

— that there is a duty of care owed by one party to another

— that there has been a breach of that duty, and

— that the breach of duty has resulted in damage (injury, health or loss).

In terms of civil liability, any action for damages would normally be brought against the employing organisation as they accept vicariously liability for the actions of their employees in the normal course of their employment. The employing organisation would also be insured for such liability under their employers’ liability policy, their public liability policy or, if providing professional services or advice, the professional indemnity policy. The two factors present for vicarious liability are that the person is employed and acting within their capability and has negligently caused injury or damage to a third party; in such case the employer will take responsibility for the action of their employee.

The application of legal precedent within UK case law is sparse and infers that any complex matter is likely to be found at the discretion of the courts. Some useful reference material has been included within Appendix 3 to assist in understanding current thinking.





3 The competence journey

In the UK, the Engineering Council sets and maintains internationally recognised standards of professional and technical competence. The achievement of the requisite level of competence in any chosen area of expertise will take effort, dedication and commitment. The route to take is likely to be a personal decision — it will inevitably take different people differing amounts of time and will depend upon many factors such as prior qualifications or experience, job role and exposure, as well as personal circumstances.

The advancement of competence should be structured and developed through a combination of formal and/or informal learning and overlaid with relevant qualification, training and experience that is subject to evaluation. The route will generally be specific to the area of expertise or competence being developed; formulaic approaches to the attainment of competence are unlikely to deliver the most effective results as the mix and structure of development will normally need to be both relevant and appropriate.

Many organisations have attempted to grade competence and use descriptors such as ‘knowledgeable’, ‘proficient’ and ‘advanced’, whilst others use ‘trainee’, ‘supervised practitioner’, ‘practitioner’ and ‘expert’. Such hierarchy should be fully defined within and by the business process and caution should be exercised when interpreting the actual level of competence that any given title infers.

A director or board of directors should embrace the principles of risk and proportionality to determine the competency levels for their business activities. Importantly the onus of proof of competence will always fall upon the employing organisation to check that the level of resource competence is appropriate to the task. This will depend upon the specific attributes of the organisation, e.g. size, operating sector, type of work undertaken etc., and should be informed by the needs of the operational team drawing on their experience and feedback.

4 Competency certification

Certification of competence by a recognised external body

provides a structured mechanism for the initial assessment and ongoing

confirmation of competence in support of the internal competency management system. A recognised external scheme will have a robust structure of governance and control. The issuing body responsible for the certification should be credible and widely recognised and, above all, competent in the way that the scheme is administered.





The certification body can certify organisations or individuals. Certification of organisational competence does not indicate any individual within that organisation is competent: that requires individual certification. An example of this is electrical certification. An electrical contractor may be a member of a recognised scheme for certification of electrical contracting companies, but this does not mean that every employee who works on site automatically has certain competences.

For a company or individual to be certified, they must first undergo an initial assessment against the requirements for the particular scheme. This may be either a specific national or international standard, or a sector or scheme specific document that sets out the competences and other requirements against which members of the scheme will be assessed. This may involve both a desk-based evaluation and a practical assessment, which might be carried out on site.

Following initial certification appropriate checks at regular intervals will be necessary to confirm that competency is maintained. To this end not only will evidence based on written testimony need to be validated but the application of such skills and knowledge in the work environment would also need to be audited for quality; review intervals should be assessed and be appropriate to the task and risks involved.

The United Kingdom Accreditation Service (UKAS) is the nationally recognised accreditation body, which is recognised by government to assess, against internationally agreed standards, organisations that provide certification services. Certification by a UKAS-accredited certification body will provide a demonstration of the competence, impartiality and performance capability of that body.

Competency certification, whilst supportive in the demonstration of competence, should be considered as an addition to an organisation’s internal competency management system and not as an alternative to it.

Statutory registration

In certain cases work may only be undertaken by a person or organisation that belongs to a Statutory Register. An example of this is the Gas Safe Scheme for registered gas installers. The Gas Safety (Installation and Use) Regulations 1998 (TSO, 1998) require that any individual who undertakes work on gas holds a current registration with the Gas Safe Register. In addition, any organisation employing gas installers has obligations under the Regulations. Anyone who undertakes work on gas installations must be registered, for which they must have undergone recognised training and a competence assessment, which must be updated periodically. Non-





compliance with the Regulations carries criminal penalties, including prison sentences for those guilty of undertaking unsafe gas work. The Gas Safe Register operates an active enforcement programme to this end.

5 Organisational ‘de-risking’

Most organisations already adopt a range of systems and controls to ensure that risk is adequately identified, assessed, and ultimately controlled to a tolerable level. The management of risk reduces an organisation’s exposure to loss. Loss can be measured in many ways depending upon the function of the organisation or the measure by which organisational success is calculated. Typically however in modern business this is normally to do with project, market or liquidity measures and, as such, de-risking is about the introduction of a counter-measure to improve the value of an expected return.

Quality, health and safety, and environmental management systems are commonplace and generally a pre-requisite to most organisations succeeding beyond the simplest pre-qualification questionnaire. Competency is however assumed and represents a significant operational risk both to clients and suppliers alike — a risk however that can be reduced by asking about competence in the pre-qualification questionnaire and then managed through the use of an effective competency management system. Refer to the sample contractors’ competency checklist in Appendix 4.

Management systems do not need to be complicated:

— they begin with a policy that sets out the aims and objectives of the system and what it is designed to achieve

— a set of actions and interventions arise from the policy which can cumulatively be considered the implementation of the system

— invariably non-conformances or areas of weakness come to light in operating the system; this is the audit phase

— finally, the system is regularly revisited, the review stage, to ensure the policy is achieving its stated objective.

Refer to section 8, ‘Competency management systems’ for further detail.

To reinforce the importance of competence in organisational de-risking it is useful to consider incompetence. Research undertaken by Kruger and Dunning (1999), for example, proposed that, for a given skill, incompetent people will:

— fail to recognise their own lack of skill or proficiency

— fail to recognise capability and real skill in others

— fail to recognise their limits or the extremity of their inadequacy, and





— fail to recognise and acknowledge their own lack of skill, even after they have undertaken training in that particular subject area.

To recognise weaknesses in both self and others, self-assessment is a useful aid. However, as a result of bias, a relatively unskilled or incompetent individual can overestimate their own qualities and abilities relative to others, leading to a belief that their ability is much higher than is actually the case. This is why it is important to review objectively and impartially, otherwise the illusion of competence held by certain individuals or organisations will go unchecked.

Within an organisation, management may be pressured to complete tasks without due regard for the correct level of competency in an effort to get the job done. This scenario is primarily associated with low competence tasks where management may be considered to have turned a blind eye to the correct process in the belief that performance completion of the task outweighs the inherent risk. Ignorance and this type of unconscious decision-making is a serious failing that should be addressed.

Figure 3 below details a typical cycle of normal human behaviour when subjected to a new job, function or task and considers the cognitive states of acceptance as comprehension of ability and competence transcend the unknown to known, the unaccepted to accepted, the unconscious to conscious stage of enlightenment — in simple terms an overall increase in self-awareness.

Consciouscompetence(trained andassessed ascompetent)

Unconsciouscompetence

(develops goodhabits)

Unconsciousincompetence(develops bad

habits or lapses)

Individualpresented withnew job or task,or assessed asnot competent

Unconsciousincompetence(unaware oflimitations)

Consciousincompetence

(during training anddevelopment)

6 Human resource and talent management6.1 Resource management

Direct and indirect people costs in any organisation tend to be significant in relation to its overall operating costs. Proportionally, the intrinsic value locked within these individuals is considerable. The tacit knowledge that people possess within them is difficult to access and most people are not aware of

Figure 3: Cycle of human behaviour when confronted by a new job or task(source: ORR (2007))





the value of the knowledge to others. Such knowledge provides context for ideas, experiences, people and places, and is not easily captured.

It could be argued therefore that an organisation not investing in the management and development of their human resources — especially where a gap has been identified that is relevant to organisational business — could be considered negligent. How else can they optimise the value they receive from their people, share it with others, and importantly ensure that they remain competent and capable of fulfilling the task for which they are employed? Such an approach contributes to organisational de-risking.

This investment and development in people supports a clearly visible career path leading to increased competency and possible advancement. Such advancement can be within a common area of expertise or even deployment elsewhere within the organisation as part of a succession plan, see Figure 4. It also helps to improve morale, which is one of the critical success factors for staff retention.

Talent communities Talent pool

RECRU

IT

MANAGE DEVELO

P REWARD

R

EDEP

LOY

ATTRACT

For talent management to be fully effective, the system should have oversight of all resources. Many systems fail due to their being administered at the contract or functional level rather than at a business unit or company level. Unless talent is managed at the correct level it will fail. Human Resources is normally a central function with responsibility to the higher business unit or company level and as such is well placed to manage and control talent. Further, as part of a competency management system, they are best placed to collate, record and manage competency feedback, run reports and make observations in respect of deficiency or risk that may exist across the operating platform.

6.2 Performance appraisals and development reviews

Performance appraisals should take the form of regular reviews against both corporate and personal objectives. The objectives should be written in such a way that makes them able to be measured objectively. The regularity of review should be appropriate to the objectives and the role/function being fulfilled by the individual concerned or, for example, the risk associated with

Figure 4: Succession plan





the tasks being performed. In some cases interim reviews may be necessary due to the dynamics of a particular job or task.

The appraisal/review should be holistic in nature and ideally template-driven so as to ensure alignment with the organisation’s competency management system. Introducing objective and impartial criteria will provide consistency of assessment while use of a common template-based system will allow for more valuable analysis of data and production of meaningful management information.

Each review should be competency based; it should be noted, for example, that just because an individual has knowledge of particular competencies it does not necessarily follow that it is a competence that is held by that individual. What is important is the application of that knowledge within the context of the job, function or task being performed. It is this application of knowledge that should be appraised/reviewed as part of the competency management system.

It is important to make the distinction between competencies and competence. Competencies can be considered as those behaviours that excellent performers exhibit much more consistently than average performers. A competency therefore, may be considered as a grouping of behaviours (or competencies) that, when taken together, better describe and communicate performance expectations.

A review should include:

— continued suitability of the job and role description

— applicability of the competency profiles and continued appropriateness:• generic

• behavioural

• technical

• functional

— peer feedback, witness testimony, results from skills tests, oral and observational evidence and project works

— qualifications, certification and training

• validity (including lapse dates where necessary)

• refresher training (undertaken and needed), CPD

• new experiences that may have been gained

• ongoing applicability of existing skills and new skills required

— analysis of development needs





• training, job rotation, coaching, mentoring, CPD

— competency questionnaire/interview

— performance and evaluation cycle

• incident reviews

• ‘near miss’ and other significant events

— personal development planning.

Importantly, the results from each review should be fully documented and countersigned by both parties as a true assessment of the ongoing competency or suitability of that individual to continue fulfilling the job role or performing specific tasks within the role.

By collating an individual file on each employee it will be possible to demonstrate at any time the competence of a given individual. The ability to record such information, including lapse dates is imperative if the organisation is to manage its operational risk. Legally, in the case of disputes and more significantly in cases of mediation, arbitration or litigation, the substantial body of evidence that will be brought into focus will be the documented record and activities associated with it.

An individual also has the duty to raise issues of insufficient training or limitations of competency and to support the management of the risks through suitable contingencies.

7 Training and continuing professional development (CPD)

7.1 Training

In relation to the training and awareness of health and safety, provision is made in the Management of Health and Safety at Work Regulations 1999 (TSO, 1999). These regulations contain specific requirements for training and stipulate that employees must receive adequate training when they are recruited and when they are introduced to new or increased risks. The general principle in respect of adequacy of training and awareness applies equally as a key component of competency.

What constitutes adequate training is not possible to define here save to say that it will vary according to job role, function and task being undertaken, and will include:

— regularity, and complexity of the task or activity

— demonstrated competence of the individual concerned





— circumstances of the work, the environment and the level of supervision, and

— mechanical or other equipment needed in support of the activity.

The training standard required must be sufficient to ensure the safety of the individual and others who may be affected by the work, so far as reasonably practicable.

Notwithstanding this, the provision of training should be an essential part of any organisation’s corporate governance. It is also the responsibility of the organisation to ensure that they have adequately trained, qualified and competent staff to deliver the contracted service. Some qualifications received from training programs and accreditation schemes are time limited and require renewal to remain valid (e.g. gas work, HFC, F-gas, first aid), while others are educational qualifications and remain with the individual to demonstrate their level of knowledge (e.g. ONC, HND, BEng, BSc).

Effective training is a dynamic programme of training and re-training that ensures all involved in the delivery of a service or function are kept fully up to date with changes in statutory, mandatory and best practice requirements. Such changes when augmented with properly structured refresher training allied to relevant practical experience and other appropriate forms of CPD will assist with ensuring competency — without good management systems or an investment in people, competency will diminish and become difficult to demonstrate.

7.2 Continuing professional development (CPD)

CPD is a generic term that encompasses a combination of approaches, ideas and techniques to support learning and growth. CPD should be results driven, relevant to an individual’s job role or tasking and should support the ongoing development and maintenance of their educational qualifications to current standards. Crucially attendance at CPD-accredited seminars and courses may not necessarily support the competence that is needed to be demonstrated in a specific role, it may however assist with a broader appreciation of the market or sector within which an individual is involved.

CPD should be specifically tailored to individual role, function and task and, importantly, support the needs of the individual in the role for which they are engaged. CPD should therefore be targeted and aligned to development objectives, which are usually defined as part of an appraisal or review process and regularly charted so that progress is measured and monitored.

For every aspect of CPD undertaken it is important to retain a log to prove both attendance and learning. It is also useful to record what the outcomes





of that learning were and to detail what the learner can now do that he/she could not do before.

Not only does this help to support growing competence it also aids demonstration of commitment to learning and may accelerate career progression. Motivationally, it can boost confidence, increase job satisfaction, strengthen professional credibility and help prepare the individual for greater responsibility and new challenges.

Many institutions demand that skills and knowledge are maintained, and developed, as a pre-requisite to continued membership. CPD helps turn accountability into a positive opportunity to identify and achieve the individual’s own career objectives.

A number of examples of recognised CPD methods and techniques are detailed in Appendix 1.

7.3 Evidence and record keeping

Record keeping for both the individual and the organisation is vital and should not be underestimated.

If asked to demonstrate the competency of any employee, it will be impossible without evidence. Evidence is the only thing that an internal audit function, a client body or an external enforcement organisation will accept as absolute when it comes to proof of competence.

The assessment criteria that underpin the competence records should be fully developed and defined, appropriate and proportionate to the risks associated with the task, job or situation to which the individual is exposed or the function being performed. Further, the method of recording the assessments of competence must be consistent and reliable.

In emergency situations and to support incident and accident investigations access to records of competency should be possible in a timely manner. Generally, it would be expected that records should be made available, following a request, within 24 hours. It is suggested that performance and competency assessment records are maintained for a minimum of twice the re-assessment period or six years, whichever is the greater. Documentation in relation to aptitude and any significant events should also be retained for the same period. If not maintained then competency can be diminished; as a consequence regular CPD and refresher activities including re-assessment should be undertaken at appropriate regular intervals.





In most cases it is expected that technical competency assessments should be undertaken at a maximum frequency of two-yearly, or more frequently if there has been a significant business change or the complexity or the risks associated with the task demand it.

Appendix 4 suggests a number of sample checklists that could be used or adapted for an organisation’s use. Checklist-style competence review formats are suggested for mechanical, electrical and confined space activities. However, these could be easily adapted to cover additional areas of required competence such as fire or life safety systems, petroleum and other activities where the risk of an incident or accident whilst undertaking such work demand a higher, more specific level of competence. A model competence certificate is also suggested by way of providing a demonstrable audit trail of process and procedure that would assist in defending any claim in respect of lack of competence. Lastly, a checklist-style question set is offered to assist with the assessment of health, safety and competency associated with the use of third party contractors.

Well-managed records provide reliable information and complete evidence. Importantly gaps in record history may lead to claims in the event of a dispute that records have been concealed or in serious cases the suggestion that incriminating evidence has been destroyed.

Log books can be a useful aid to record competence and activities undertaken by way of demonstration of exposure, experience and through life learning.

In general, the effort expended in establishing and ensuring the competency of an individual should be in proportion to the risk of an incident or accident associated with inadequate competence.

A reassessment of competence will always be necessary and should be undertaken where an individual is:

— introduced to new or increased risks

— transferred to another job or a similar job at a different location

— transferred to another organisation, or

— exposed to new equipment, materials or technology.

When a business changes owner, its employees may be protected under the Transfer of Undertakings (Protection of Employment) Regulations 2006 (TUPE) (TSO, 2006). Competency assessment records should always be requested from the transferor as part of any TUPE transfer and if not deemed sufficient a further assessment conducted by the receiving organisation before setting the individual to work.





8 Competency management systems (CMS)

Competence management is the arrangements to control, in a logical and integrated manner, a cycle of activities within the organisation that will assure and develop competent performance. The aim is to ensure that individuals are clear about the performance that is expected of them, that they have received appropriate training, development and assessment, and that they maintain, or develop, their competence over time.

Whilst it is possible for a competency management system to be standalone, most are usually linked to personnel development programs and HR processes to enable gap analysis and succession planning. It is recommended that where possible these systems should be integrated.

A competency management system if used in a commercial business is a strategic differentiator or unique selling point. Within an organisation it can be linked to a common platform-based IT solution with defined standards. An IT solution can be a powerful tool that has the ability to provide real value and consistency; it can also allow visibility for effective deployment and subsequent re-deployment of staff into new roles as part of their documented and defined career path or as part of corporate organisational growth plans. It is conceivable that an informed client will recognise the benefits that such an approach will bring and this may itself be a deciding factor in the acquisition of new work or the retention of existing business.

An organisation can determine its need for a competency management system by considering the following:

— taking a high level approach to the work streams the business undertakes; where these are complex, break out into categories/disciplines

— identifying the hazards and levels of risk associated with the tasks within the work streams

— appraising the qualifications and knowledge of personnel associated with the work stream

— reviewing the personnel training records ensuring they are relevant to the work stream and current

— assessing if the levels of risk require specific attitudes or behaviours

— determining the qualification and experience appropriate to the proportionality of risk

— completing a gap analysis to determine development needs and actions.





9 Benefits of having a competency management system

Numerous benefits can be realised by operating an effective competency management system. It provides the framework within which an organisation can demonstrate a quantifiable and consistent approach to the management of risk to the business as well as a method by which it can mitigate or control loss and importantly operate within a transparent manner across the entire organisation.

Such benefits may be that the system:

— satisfies the competence conditions of the organisation’s risk in a proactive business-focused manner (BS ISO 31000 (BSI, 2009))

— creates competence awareness across the organisation’s operation, improving safety standards and efficiency

— can be used to identify resilience: key personnel who may leave or be unavailable due to sickness and/or holidays and thus maintains the organisation’s operational continuity regardless of individual staff member issues

— increases staff awareness of the organisation’s commitment to personnel development and approach to safety with the right person for the right job

— applies increased awareness of emergency situations to all employees thereby reducing incident response times and risk of downtime

— increases an organisation’s profile to external stakeholders and customers by setting clear standards and demonstrating that staff competence is a key to quality and safe service delivery

— recognises investment in training across the whole organisation where risks need to be managed rather than a single individual

— facilitates identification of skills gaps and assists in the development of consistency across different sites

— is bespoke to an organisation and site operations and delivers continued competence as part of the day to day business operations

— is proportionate to the risks and needs of the organisation

— can be integrated with existing management systems such as BS EN ISO 9001 (BSI, 2015b) and BS EN ISO 14001 (BSI, 2015c), reducing costs and delivering organisational improvements.

Like most management systems, a competence management system involves establishment of requirement, design, implementation, maintenance and ongoing review. This five-phase approach is illustrated in Figure 5 below,





adapted from Inspection of Competence Management Systems at COMAH Establishments (COMAH CA, 2012). The majority, if not all, of the phases should be easily capable of being integrated into existing business processes.

• Develop procedures and methods• Decide how to meet the standards• Establish requirements for training, development and assessment• Maintain managers’ competences

Phase 2: Design the CMS

• Identify activites• Assess risks• Select standards

Phase 1: Establish CMS requirements

Phase 4: Maintain anddevelop competence

Phase 5: Verify, audit andreview the CMS

• Verify and audit system• Review and feedback

• Monitor and reassess performance• Update individual competences• Address substandard performance• Maintain records

• Select and recruit staff• Train, develop and assess staff• Control activities undertaken

Phase 3: Implement the CMS

Phase 1: Establish

The business manager/employing officer should assess their business for key risks that require specific competences to undertake tasks while having regard for legislation. This information should then be added to a job description in the form of defining qualifications, experience, knowledge of systems and safety and other attributes required for the role.

Defining a role such as Authorising Engineer or Competent Person may not be suitable or sufficient as these terms or titles may be different in companies with different responsibilities or duties.

With a detailed job description the manager or selection agency will be able to compare candidate submissions against the attributes required for competency and make selections for interview. The interview is a key requirement for determining competency because it does not just provide the opportunity for the candidate to explain and prove their qualification, experience and knowledge, but gives the manager the opportunity to check the candidate has the appropriate level of other duties suitable for the role. As explained in the section above these should be proportionate for the role and relevant to the defined hazards.

Figure 5: The CMS cycle(source: adapted from COMAH CA (2012))





The probation period should be used to determine the authenticity of the competencies and identify gaps. These gaps may be due to insufficient training, lack of familiarity with specific assets or company processes, or a lack of character for other duties appropriate to the role.

Phase 2: Design

For complex hazards and risks it will be necessary to prepare management policies and procedures to manage these issues. There is a necessity to have these documented and available for the competent person to follow, maintain compliance and work safely.

Larger organisations with multiple competences should consider a hierarchy of competence and a specific process where senior technical staff review and assess competence and validate approval. It may be necessary for some organisations to employ consultants or field specialists to review and assess staff competence where there is insufficient engineering management experience.

Phase 3: Implement

With job descriptions defined and policies and procedures in place, a matrix assessment can be made against existing staff in competency roles to determine existing gaps and areas of risk. The Transfer of Undertakings (Protection of Employment) Regulations 2006 (TSO, 2006) (TUPE) has brought about commercial risks with competency when transferring existing staff and conditions on terms of employment that do not conform to the transferring in organisation’s policies or procedures. In these situations it is essential to review competence not against job descriptions but against tasks and safety requirements against defined risks.

Phase 4: Maintain

This is the phase where an IT-based CMS solution is of value, especially in complex organisations where business accreditations and individuals’ training and knowledge are required to be regularly refreshed. There are many versions of spreadsheets for managing the maintenance of competencies and sometimes in an organisation there may be multiple versions within that business; the main requirement is that competency is being managed effectively and early training needs identified. Some organisations have training departments and HR systems that can plan and predict the training needs of large groups of mixed trades and engineering staff. These systems should be mobilised according to the Phase 2 design requirements.





Phase 5: Review

In complex and evolving organisations the maintenance of competency and accreditations can be very difficult and a serious challenge. It is important for managers to continually review their business responsibilities for risks and hazards to ensure they have the correct level of competence. Ignorance or lack of knowledge is deemed to be no defence in law.

The times for review may vary dependent on the situation, some may be time bound (e.g. gas and refrigeration) whilst others may be defined by business mergers and/or contract wins/losses.

An ideal time to review specific competencies is during an appraisal or performance review. Discussions can be around confidence and experience as well as training and knowledge; some organisations undertake a formal assessment review and practical test for the demonstration of competence. Competency can be lost due to a lack of practical participation in tasks over a period of time and hence confidence wanes. This is very difficult to determine because the management system indicates everything is in place but the employee is not confident and this, in the case of an emergency, could be disastrous.

Some accreditation bodies and training organisations allow the extension of revalidation times where good competency management, review and practical experiences can be demonstrated.

Whilst not easily demonstrated it could be argued that an organisation’s competency could be measured by the competency of its resources and the quality of its competency management system.

10 Competency management and continuous improvement

There are obvious parallels to the operation of a robust, HR-linked, competency management system with that of the continuous improvement cycle proposed by W Edwards Deming and more commonly understood as the Plan-Do-Check-Act (PDCA) cycle (Deming Institute, online).

Organisational maturity will appeal to a potential employee and support initial attraction. The ability to benchmark an individual against similar roles will assist with the assessment of base skills and competence leading to more confidence over recruitment. This may assist in the avoidance of costs, business disruption and loss of continuity associated with personnel subsequently found, during their probationary period to be unsuitable.





The CMS will provide a structured framework for the management and development of the individual to a competence level that is commensurate with the agreed development plan. Performance against the plan can then be rewarded, further developed over time until eventual re-deployment to a new role.

The competency management system should enable a business to identify key areas of risk associated with jobs, functions or tasks managed by their personnel or business. The system should include the management of external resource employed to support the business where the hazards identified are not considered part of the strategic core business.

Even the smallest organisations will have systems that can be developed to form a CMS cost-effectively. Figure 6, whilst not exhaustive, provides examples of organisational processes that contribute to the management of a competence system.

References

BSI (2009) BS ISO 31000: 2009: Risk management. Principles and guidelines (London: British Standards Institution)

BSI (2013) BS 5839-1: 2013: Fire detection and fire alarm systems for buildings. Code of practice for design, installation, commissioning and maintenance of systems in non-domestic premises Fire detection and fire alarm systems for buildings (London: British Standards Institution)

BSI (2015a) BS 8485: 2015: Code of practice for the design of protective measures for methane and carbon dioxide ground gases for new buildings (London: British Standards Institution)

BSI (2015b) BS EN ISO 9001: 2015: Quality management systems. Requirements (London: British Standards Institution)

BSI (2015c) BS EN ISO 14001: 2015: Environmental management systems. Requirements with guidance for use (London: British Standards Institution)

COMAH CA (2012) Inspection of Competence Management Systems at COMAH Establishments (Operation Delivery Guide) (London: Health and Safety Executive) (available at http://www.hse.gov.uk/comah/guidance/inspection-competence-management-systems.pdf)

Deming Institute (online) The PDSA Cycle [webpage] (Ketchum ID: The W. Edwards Deming Institute) (https://deming.org/management-system/pdsacycle) (accessed August 2017)

Dreyfus SE and Dreyfus HL (1980) A Five-Stage Model of the Mental Activities Involved in Directed Skill Acquisition (Berkeley CA: University of California)

Engineering Council (2014) UK-Spec: UK Standard for Professional Engineering Competence 3rd. edn. (London: Engineering Council) (available at https://www.engc.org.uk/ukspec) (accessed August 2017)

HMSO (1966) Construction (Working Places) Regulations 1966 Statutory Instrument 1966 No. 94 (London: Her Majesty’s Stationery Office) (available at http://www.legislation.gov.uk/uksi/1966/94) (accessed August 2017)

HMSO (1974) Health and Safety At Work etc. Act 1974 (London: Her Majesty’s Stationery Office) (available at http://www.legislation.gov.uk/ukpga/1974/37) (accessed August 2017)

HMSO (1977) Safety Representatives and Safety Committee Regulations 1977 Statutory Instrument 1977 No. 500 (London: Her Majesty’s Stationery Office) (available at http://www.legislation.gov.uk/uksi/1977/500) (accessed August 2017)

HSE (online) What is competence? [website] (London: Health and Safety Executive) (http://www.hse.gov.uk/competence/what-is-competence.htm) (accessed August 2017)

ACTNear miss and accident dataDisciplinary/capability processReview/quality check and implement change

DOLearning and development systems (CPD) Performance management systemControl of contractors

PLANJob and person specificationsRecruitment interview process

CHECKWorkplace observationsChange management processData analysis (KPIs and service metrics)

Figure 6: The PDCA cycle(source: Deming (2016))





HSE (1998) Safe use of lifting equipment — Lifting Operations and Lifting Equipment Regulations 1998 Approved Code of Practice and guidance L113 (2nd edn.) (Bootle: HSE Books) (available at http://www.hse.gov.uk/pubns/books/l113.htm) (accessed August 2017)

HSE (1999) Management of Health and Safety at Work Regulations 1999 Approved Code of Practice (Bootle: HSE Books) (withdrawn)

HSE (2002) Human Factors Briefing Note No. 2 — Competence (London: Health and Safety Executive) (available at http://www.hse.gov.uk/humanfactors/topics/02competency.pdf) (accessed August 2017)

HSE (2013a) Managing for health and safety HSG65 (Bootle: HSE Books) (available at http://www.hse.gov.uk/pubns/books/hsg65.htm) (accessed August 2017)

HSE (2013b) Legionnaires’ disease: The control of legionella bacteria in water systems Approved Code of Practice and guidance L8 (4th edn.) (Bootle: HSE Books) (available at http://www.hse.gov.uk/pubns/books/l8.htm) (accessed August 2017)

Kruger J and Dunning D (1999) ‘Unskilled and unaware of it: how difficulties in recognising one’s own incompetence lead to inflated self-assessments’ Journal of Personality and Social Psychology 77 1121–1134

NHS (various dates) Various titles Health Technical Memoranda (London: Department of Health/NHS Estates) (available at https://www.gov.uk/government/collections/health-technical-memorandum-disinfection-and-sterilization#documents)

Office of Rail and Road (2016) Developing and maintaining staff competence Railway Safety Publication 1 (London: Office of Rail and Road) (available at http://orr.gov.uk/__data/assets/pdf_file/0016/4264/developing-and-maintaining-staff-competence-rsp1.pdf) (accessed August 2017)

SFL (online) Breach — the role of professionals [webpage] (Sixth Form Law) (http://www.sixthformlaw.info/01_modules/other_material/tort/2_breach/2_breach_professionals.htm) (accessed August 2017)

MoD (2017) Common requirements ch. 2 in Management of health and safety in defence: high risk activities on the defence estate (section 2: Competence) JSP 375 part 2, volume 3 (London: Ministry of Defence) (available at https://www.gov.uk/government/publications/jsp-375-health-and-safety-handbook-volume-3) (accessed August 2017)

TSO (1989) Electricity at Work Regulations 1989 Statutory Instruments 1989 No. 635 (available at http://www.legislation.gov.uk/uksi/1989/635) (accessed August 2017)

TSO (1997) Fire Precautions (Workplace) Regulations 1997 Statutory Instrument 1997 No. 1840 (London: The Stationery Office) (available at http://www.legislation.gov.uk/cy/uksi/1997/1840) (accessed August 2017)

TSO (1999) Management of Health and Safety at Work Regulations 1999 Statutory Instruments 1999 No. 3242 (London: The Stationery Office) (available at http://www.legislation.gov.uk/uksi/1999/3242) (accessed August 2017)

TSO (2000a) Pollution Prevention and Control Regulations (Scotland) 2000 Scottish Statutory Instruments 2000 No. 323 (London: The Stationery Office) (available at http://www.legislation.gov.uk/ssi/2000/323) (accessed August 2017)

TSO (2000b) Pressure Systems Safety Regulations 2000 Statutory Instrument 2000 No. 128 (London: The Stationery Office) (available at http://www.legislation.gov.uk/uksi/2000/128) (accessed August 2017)

TSO (2006) Transfer of Undertakings (Protection of Employment) Regulations 2006 Statutory Instruments 2006 No. 246 (London: The Stationery Office) (available at http://www.legislation.gov.uk/uksi/2006/246) (accessed August 2017)

TSO (2010) Environmental Permitting (England and Wales) Regulations 2010 Statutory Instruments 2010 No. 675 (London: The Stationery Office) (available at http://www.legislation.gov.uk/uksi/2010/675) (accessed August 2017)

TSO (2015a) Construction (Design and Management) Regulations 2015 Statutory Instruments 2015 No. 51 (London: The Stationery Office) (available at http://www.legislation.gov.uk/uksi/2015/51) (accessed August 2017)

TSO (2015b) Control of Major Accident Hazard Regulations 2015 Statutory Instruments 2015 No. 483 (COMAH) (London: The Stationery Office) (available at http://www.legislation.gov.uk/uksi/2015/483) (accessed August 2017)

24





Further readingBSRIA (2001) Competent Persons: Their Role in Construction BSRIA Technical Note TN2/2001 (Bracknell: BSRIA)

CIBSE (2014) Maintenance engineering and management CIBSE Guide M (London: Chartered Institution of Building Services Engineers)

CITB (2014) Competence in Construction (London: Construction Industry Training Board/Pye Tait Consulting) (available at http://www.pyetait.com/published-reports) (accessed August 2017)

Davis A (ed.) (2012) Health and safety, premises and environment Workplace Law Handbook 2012 (Cambridge: Workplace Law Group/Kogen Page) (ISBN 978-0-7494-6624-4)

Duggan P (2010) ‘Competence, The Why? The How? and ‘A Practical Approach’’ in Dale C and Anderson T (eds.) Making Systems Safer — Proceedings of the Eighteenth Safety-Critical Systems Symposium, Bristol, UK, 9–11th February 2010 175–186 (New York, NY: Springer) (ISBN 978-1-84996-085-4)

Holt J and Perry SA (2011) Pragmatic guide to Competency — Tools, Frameworks and Assessment (Swindon: BCS) (ISBN 978-1-906124-70-0)

HSE (2007a) Managing competence for safety-related systems Part 1: Key guidance (London: Health and Safety Executive) (available at http://www.hse.gov.uk/humanfactors/topics/mancomppt1.pdf) (accessed August 2017)

HSE (2007b) Managing competence for safety-related systems Part 2: Supplementary material (London: Health and Safety Executive) (available at http://www.hse.gov.uk/humanfactors/topics/mancomppt2.pdf) (accessed August 2017)

HSE (2013) Using contractors: A brief guide INDG368 (Bootle: HSE Books) (available at http://www.hse.gov.uk/pubns/indg368.htm) (accessed August 2017)

HSE (undated) Human Factors Briefing Note No. 1 — Introducing Human Factors (London: Health and Safety Executive) (available at http://www.hse.gov.uk/humanfactors/topics/01introhf.pdf) (accessed August 2017)

SHRM (2017) The SHRM Body of Competency and Knowledge (Alexandria, VA: Society for Human Resource Management) (available at https://www.shrm.org/certification/Documents/SHRM-BoCK-FINAL.pdf) (accessed August 2017)

Stranks J (2015) Health and Safety Pocket Book (Abingdon: Routledge) (ISBN 13: 978-1138134706)

UKCES (online) National Occupational Standards [website] (London: UK Commission for Employment and Skills) (https://www.gov.uk/government/publications/national-occupational-standards) (accessed August 2017)





Appendices

Appendix 1: CPD methods and techniques

CPD can be undertaken in numerous ways and depending upon the role, function or task concerned some may be more appropriate than others. Learning methods can be categorised as ‘active’, ‘reflective’, ‘theoretical’ and ‘practical’. A combination of different techniques is often beneficial so as to enhance the overall value of the development opportunity.

Some examples of CPD are given below:

— Structured on-the-job training linked to risk assessments.

— Use of job aids and other material provided by the organisation.

— Assisting and supporting others.

— Mentoring programs (both within and outside of your functional line).

— Process documentation, expert systems, document repositories.

— Best Practice meetings, studies and contribution to Communities of Practice.

— Engagement of retirees on retainer to assist knowledge share.

— Job shadowing, job rotation and back-to-the-floor initiatives.

— Electronic Performance Support System evaluation and measurement of progress to access what is working and what is not working.

— Critical Incident reviews (and those of near misses).

— Storyboards, storytelling, celebrating success events and project reviews.

— Knowledge fairs, knowledge maps, on-line and e-learning, reviewing and/or writing case studies and other articles.

— Academic studies and vocational qualifications.

— Private reading and study, distance learning.

— In-house conferences and meetings.

— Regional or Group meetings hosted by the relevant professional body.

— Technical meetings hosted by the relevant professional body.

— Professional institution committee work.

— Writing papers and articles.

— Occasional lecturing.

This is not intended to be an exhaustive list but may assist in guiding and sourcing of appropriate methods.





Competence Management — selection, training and assessment process

Identify potentialperson for activity

SelectionIs person suitable

for activity?

Person notsuitable for activity

Train and developcandidate

AssessmentIs person

competent?

MonitoringIs competence

being maintained?

Re-assessmentIs person competent?

Is person suitablefor development

programme?

Person notsuitable for activity

Person ondevelopmentprogramme

RetrainIs person suitable

for activity?

No

Yes

No

Yes

Yes

Not yetcompetent

No

Yes

No

Yes

YesNo

Assess candidates:select or reject

Train/provide jobexperience

Assess candidates aftertraining/time on job:retrain or reject

Continuously assess,develop and train orreject

Figure 7: Flowchart of competence management selection, training and assessment process(source: HSE (2002))





Appendix 2: Example legislative citations and references to competence

Management of Health and Safety at Work Regulations 1999 (TSO, 1999)

Competence in the sense it is used in these Regulations does not necessarily depend on the possession of particular skills or qualifications. Simple situations may require only the following:

(a) an understanding of relevant best practice

(b) an awareness of the limitations of one’s own experience and knowledge, and

(c) the willingness and ability to supplement existing experience and knowledge, when necessary by obtaining external help and advice.

82. The risk assessment and subsequent reviews of the risk assessment will help determine the level of training and competence needed for each type of work. Competence is the ability to do the work required to the necessary standard.

Management of Health and Safety at Work Regulations 1999 Approved Code of Practice (HSE,1999) (withdrawn)

46. Employers are solely responsible for ensuring that those they appoint to assist them with health and safety measures are competent to carry out the tasks they are assigned and given adequate information and support. In making decisions on who to appoint, employers themselves need to know and understand the work involved, the principles of risk assessment and prevention, and current legislation and health and safety standards. Employers should ensure that anyone they appoint is capable of applying the above to whatever task they are assigned.

47. Employers must have access to competent help in applying the provisions of health and safety law, including these regulations. In particular, they need competent help in devising and applying protective measures, unless they are competent to undertake the measures without assistance. Appointment of competent people for this purpose should be included among the health and safety arrangements recorded under regulation 5(2). Employers are required by the Safety Representatives and Safety Committee Regulations 1977 (HMSO, 1977) to consult safety representatives in good time on arrangements for the appointment of competent persons.

48. In some circumstances, a combination of internal and external competence might be appropriate, recognising the limitations of internal competence.





50. The appointment of such Health and Safety assistants or advisers does not absolve the employer from responsibilities for health and safety under the Health and Safety at Work etc. Act 1974 (HMSO, 1974) and other relevant statutory provisions under the Fire Precautions (Workplace) Regulations 1997 (TSO, 1997). It can only give added assurance that these responsibilities will be discharged adequately. Where external services are employed, they will usually be appointed in an advisory capacity only.

52. More complicated situations will require the competent assistant to have a higher level of knowledge and experience. More complex or highly technical situations will call for specific applied knowledge and skills which can be offered by appropriately qualified specialists. Employers are advised to check the appropriate Health and Safety qualifications (some of which may be competence based), or membership of a professional body or similar organisation.

Electricity at Work Regulations 1989 (TSO, 1989)

No person shall be engaged in any work activity where technical knowledge or experience is necessary to prevent danger or, where appropriate, injury, unless he possesses such knowledge or experience, or is under such degree of supervision as may be appropriate having regard to the nature of the work.

Pressure Systems Safety Regulations 2000 (TSO, 2000b)

The term ‘competent person’ is used in connection with two distinct functions:

— drawing up or certifying schemes of examination and carrying out examinations under the scheme. In general terms, the competent person should have:

— staff with practical and theoretical knowledge and actual experience of the relevant systems, access to specialist services, effective support and professional expertise within their organisation and proper standards of professional probity.

Lifting Operations and Lifting Equipment Regulations 1998 Approved Code of Practice (HSE,1998)

Thorough examination and inspection — Competent person:

294. You should ensure that the person carrying out a thorough examination has such appropriate practical and theoretical knowledge and experience of the lifting equipment to be thoroughly examined as will enable them to detect





defects or weaknesses and to assess their importance in relation to the safety and continued use of the lifting equipment. 295. It is essential that the competent person is sufficiently independent and impartial to allow objective decisions to be made. This does not mean that competent persons must necessarily be employed from an external company. If employers and others within their own organisations have the necessary competence then they can use it. However, if they do, they must ensure that their in-house examiners have the genuine authority and independence to ensure that examinations are properly carried out and that the necessary recommendations arising from them are made without fear or favour.

Legionnaires’ disease. The control of legionella bacteria in water systems, Approved Code of Practice and guidance L8 (HSE, 2013b)

29. The dutyholder must ensure that the person who carries out the risk assessment and provides advice on prevention and control of exposure must be competent to do so.

52. The dutyholder should also ensure that all employees involved in work that may expose an employee or other person to Legionella are given suitable and sufficient information, instruction and training. This includes information, instruction and training on the significant findings of the risk assessment and the appropriate precautions and actions they need to take to safeguard themselves and others. This should be reviewed and updated whenever significant changes are made to the type of work carried out or methods used. Training is an essential element of an employee’s capability to carry out work safely, but it is not the only factor: instructions, experience, knowledge and other personal qualities are also relevant to perform a task safely.





Appendix 3: Examples of United Kingdom case law and examples of legal precedent

Legal systems and the application of the law is by its very nature complicated, and further complicated by the specifics of each case save to say that where appropriate the judicial system makes use of historical precedent to underpin any decisions that may be of difficulty or where an area of law has not been effectively tested.

In reading the following it should be remembered that a competent person can be negligent through their acts and omissions and that a case that successfully proves negligence may not necessarily lead to a claim of incompetence. Further the burden of proof would always be on the defendant to prove competence — something that may prove difficult given its lack of clear and unequivocal definition.

One of the early precedents that continue to be referenced is known as the Bolam Test. This is also known as the ‘Reasonable Man Test’, as applied to professionals. The following table is reproduced from the Sixth Form Law website (SFL, online) by kind permission of the copyright holder. Note that these examples do not constitute legal advice and may not be the latest nor only case on the subject.

Only experts need reach a level above a reasonable level

In Bolam v Friern Hospital Management Committee [1957] QBD McNair J. said:

“...where you get the situation which involves the use of some special skill or competence, then the test as to whether there has been negligence or not is not the test of the man on the top of the Clapham omnibus, because he has not got this special skill. The test is the standard of the ordinary skilled man exercising and professing to have that special skill. A man need not possess the highest expert skill; it is well established law that it is sufficient if he exercises the ordinary skill of an ordinary competent man exercising that particular art”

The Bolam Test used to judge the standard expected of doctors

When judging if a doctor falls below the standard expected they ask if: “...the defendants, in acting in the way they did, were acting in accordance with a practice of competent respected professional opinion... A man is not negligent, if he is acting in accordance with such a practice, merely because there is a body of opinion who would take a contrary view.” Until recently it was the standard test for professional cases where two or more genuine and respected views are held. This test allows the profession to be self-regulating using the evidence of what other doctors do. It is argued, therefore that doctors are not answerable for their actions in the courts, because:

1. They are allowed to set their own standards. 2. It overprotects professionals.3. It is inconsistent with negligence principles generally.4. It can often legitimise quite marginal practices.5. Definition of a competent body of opinion is too imprecise.6. The test can lead to professionals closing ranks.

Table 1: The ‘Reasonable Man Test’ as applied to professionals(source: SFL (online))





Junior doctors must show the same level of skill as other doctors doing the same job, even though the others may be more experienced

Wilsher v Essex Area Health Authority [1988] HL.A junior hospital doctor must show the level of competence expected of someone holding his post. A junior member of the team could not be expected to show the skill of a consultant [Comment: it is individual members, not a team responsibility]. A specialist will be held to the higher standard of those practicing within that specialism.

Ordinary skill of an ordinary competent man exercising that particular art:

In Shakoor v Situ (trading as Eternal Health Co)] [2001] QBD a practitioner of traditional Chinese herbal medicine did not have to meet the standard of skill and care of a reasonably competent practitioner of orthodox medicine, but he did have to take account of relevant reports in orthodox medical journals.

Bolam extends to professional advice

Sidaway v Board of Governors of the Bethlem Royal Hospital and the Maudsley Hospital [1985] HL. C underwent an operation which carried a very slight risk of spinal injury. Although the operation was properly performed, her spine was injured, and she was badly disabled. Held: there was insufficient evidence of the scope of the advice given as the surgeon, had died before the trial. Lord Scarman said that the question whether the patient should be told of the risk was a question of law for the court and not merely a question of practice for the medical profession. Any consent given by the patient to undergo the treatment had to be informed consent. Lord Diplock said the cause of action was in negligence alone, in which the concept of informed consent had no place.A doctor’s duty of care to his patient was a single comprehensive duty to be judged in the light of expert medical evidence. Lord Keith and Lord Bridge rejected the existence in English law of a doctrine of informed consent. The question whether a risk ought to have been disclosed was primarily a matter for expert medical evidence in the case. Lord Templeman said that it was for the doctor to decide in the light of his expertise and of his knowledge of the particular patient, what he should say and how he should say it. However, it was for the patient and not for the doctor to make the final decision. C lost

Bolam applicable if only a small number of doctors would follow the practice complained of

De Freitas v O’Brien and Conolly (1995) CA where 11 out of 1000 would have operated.

Bolam applicable in non-medical cases and to persons without professional qualifications

Adams v Rhymney Valley DC (2000) CAD (owners of a house) leased a house to C. During a fire two children died and their mother was badly hurt because they could not escape through the double glazed windows. Held: The test used to establish whether a professional had acted in breach of his duty of care could also apply in a case where the particular defendant was not professionally qualified. The test was not the monopoly of experts, nor was it a requirement of the test that the defendant should have considered and reflected upon the alternative courses available, and made a conscious choice between them. The windows were of a normal, common design. D was not liable.





Bolam modified by Bolitho

In Bolitho v City and Hackney Health Authority [1998] HL a doctor failed to put a tube down the throat of a child to assist his breathing. Five experts said that the doctor had been negligent and three said she had not. Lord Browne-Wilkinson said that only in very rare cases should a judge reject the evidence of a professional expert as being “unreasonable”, but he was entitled to do so.

Bolam followed in other cases

In Maynard v West Midlands Regional Health Authority [1985] HL this rule was followed in relation to diagnosis and treatment of a certain condition, a doctor is not necessarily negligent where one respectable body of professional opinion is preferred to another. Lord Scarman said:“There is seldom any one answer exclusive of all others to problems of professional judgement. A court may prefer one body of opinion to the other; but that is no basis for a conclusion of negligence ...”

Whilst the Reasonable Man Test has been cited in many cases it has generally been used to assist with decisions relating to medical and/or healthcare related cases.

In the case of R. v Adomako [1994] 3 WLR 288, the appellant was an anaesthetist in charge of a patient during an eye operation. During the operation an oxygen pipe became disconnected and the patient died. The appellant failed to notice or respond to obvious signs of disconnection. The jury in this case convicted him of gross negligence manslaughter. In this case and specifically in relation to competence, Lord Hewart CJ, made several observations in summing up:

‘It is for the judge to direct the jury what standard to apply and for the jury to say whether that standard has been reached. The jury should not exact the highest, or a very high, standard, nor should they be content with a very low standard. The law requires a fair and reasonable standard of care and competence.’

‘ As regards cases where incompetence is alleged, it is only necessary to say that the unqualified practitioner cannot claim to be measured by any lower standard than that which is applied to a qualified man.’

The instance of precedent specifically relating to building engineering services, compliance and competence generally are less common.

The concept of competence and the importance of experience was specifically highlighted by the case of Maloney v A Cameron Limited [1961] 2 All ER 934. In this case the Court of Appeal was prepared to accept without further comment that a competent person required under the Construction (Working Places) Regulations 1966 (HMSO, 1966), who was required to be responsible for inspection and supervision of competent workmen, meant ‘possessing adequate experience of such work’.





Further, and in the later case of Gibson v Skibs A/S Marina [1966] 2 Lloyd’s Rep. 39, the judge stated:

‘Who is a competent person for the purpose of such inspection? This phrase is not defined. I think that it is obviously to be taken to have its ordinary meaning of a person who is competent for the task. I think that a competent person for this task is the person who is a practical and reasonable man, who knows what to look for and knows how to recognise it when he sees it.’

What is clear from the examples is that it is inherently difficult for a jury to reach a fair and just decision involving competence, negligence or breach of duty. This is particularly true than when the breach in question is committed by a skilled person, involves technical issues or professional judgement. It has been established that in such cases it is considered safer for a jury to judge the conduct of the individual based upon the character of mental attitude (about which they can form an opinion) rather than by reference to the degree by which an individual’s conduct fell short of a (defined) standard or competence. This is particularly important as (generally) an opinion regarding the (defined) standard or competence cannot be formed by the jurors themselves without the support testimony of expert (competent) witnesses.





Appendix 4: Sample competency assessment checklists

Add Company Logo Here

Completed forms and other evidence in support of this review and claim to competence shall be maintained within the organisations Competency Management System (CMS) or with the Human Resources Function. A copy will also be

held locally as part of the Mechanical Safety Document Register.

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Competency Assessment/Checklist to confirm ongoing suitability of a Skilled Person — Mechanical Systems

This is a formal record of a review of a ‘Skilled Person’ by the appointed Authorised Person (Mechanical Systems). It is intended that this review is conducted in the form of an ‘Interview’. This form should be used for the demonstration and recording of the essential information required to support a claim on Competency in respect of works associated with mechanical engineering maintenance activities. Date of Review: ……………….. Authorised Person: ……………….. Name of Skilled Person: ……………….. The Authorised Person (Mechanical System) should check that a copy of the Skilled Person’s CV together with copies of all relevant training certificates and/or educational qualifications are held within the organisation’s Competency Management System (CMS). The Authorised Person (Mechanical System) should establish answers to the following: 1. How long has Skilled Person been employed by the organisation?……..years

2. Is the Skilled Person able to demonstrate suitable qualifications?...........Yes/No 3. Is the Skilled Person experienced in the type of work in which they are engaged?.......Yes/No 4. Is the Skilled Person likely to be engaged in ‘other’ work, which may impact Competence?.......Yes/No

(If ‘Yes’ please annotate below in observation/restrictions/further actions) 5. Is there evidence of formal relevant training for the work in which they are engaged?.......Yes/No 6. Is additional training required? (If yes, give details below)…….Yes/No 7. Has instruction in Emergency First Aid been received in the last 3 years?......Yes/No The Authorised Person should now establish the Skilled Person's level of technical knowledge and understanding of the safe system of work and the dangers associated with boilers and pressure systems. This can be brief and should be appropriate to the work being undertaken. (Separate notes/evidence should be recorded in support of justification or claim to technical knowledge and understanding) 8. Is the technical knowledge of the employee satisfactory?.......Yes/No The Authorised Person should inspect the Skilled Person’s toolkit, e.g. insulated tools, to ensure that all equipment is available, in good repair and calibrated (where appropriate). Supplementary asset inventory details should be provided on a continuation sheet, where necessary, annotated with any comments or observations. 9. Is the tool kit of a suitable standard for the works to be carried out?.......Yes/No

(If ‘No’ Please define)

10. Is the Skilled Person familiar with and have a valid copy of the organisations Corporate Safety Policy and Rules?.......Yes/No (If ‘No’, the Authorised Person should issue a copy of document, explain them and obtain a signed record using the appropriate paperwork and file with the other training information)







held locally as part of the Mechanical Safety Document Register.

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The Authorised Person should inspect the Skilled Person’s PPE, where provided, to ensure that all safety equipment is available and in good repair. Where felt necessary by the Authorised Person, the Skilled Person should be asked to demonstrate the pre-use check and assessment process. PPE should only be used as a last resort and the Risk Control Hierarchy must be properly adhered to. The Authorised Person should review task related Risk Assessments if the use of PPE appears unrealistic or disproportionate to the tasks being performed. 11. Does the Skilled Person have suitable PPE and are they aware of how to properly use the PPE

provided?.......Yes/No 12. List below locations and installations upon which work will be undertaken:

a…………………… b…………………… c…………………… d……………………

13. Is the Skilled Person familiar with the environment and aware of the location of firefighting equipment at

each location?.......Yes/No The Authorised Person shall record here the reasons why the Skilled Person was unsuitable or any reservations or work restrictions, also, any further training or actions to be taken before work commences. ............................................................................................................................................................................. ............................................................................................................................................................................. ............................................................................................................................................................................. ............................................................................................................................................................................. ............................................................................................................................................................................. ............................................................................................................................................................................. ............................................................................................................................................................................. ............................................................................................................................................................................. ............................................................................................................................................................................. ............................................................................................................................................................................. ............................................................................................................................................................................. ............................................................................................................................................................................. ............................................................................................................................................................................. Having interviewed the above named person I am satisfied as to their competence, subject to any restrictions recorded above, to undertake work on Mechanical Systems. As the Authorised Person it is my assessment that this Skilled Person should be further reviewed at a maximum period of ……… months or sooner should there be any material change that would impact upon the person being unable to discharge their responsibilities either competently or safely. SIGNED:..................................... Authorised Person (Mechanical Systems) DATE: ................ I confirm that I accept the review as detailed above as a Skilled Person (Mechanical Systems) for the above sites/locations and that I will at all times comply with all statutory or other regulations, conditions and instructions, maintaining the required level of training/qualifications. Where I feel unable to exercise my responsibilities competently or Safely I will advise my Line Manager or the Authorised Person immediately. SIGNED:..................................... Skilled Person (Mechanical Systems) DATE: ................







held locally as part of the Electrical Safety Document Register.

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Competency Assessment/Checklist to confirm ongoing suitability of a Skilled Person — Electrical Systems

This is a formal record of a review of a ‘Skilled Person’ by the appointed Authorised Person (Electrical Systems). It is intended that this review is conducted in the form of an ‘Interview. This form should be used for the demonstration and recording of the essential information required to support a claim on Competency in respect of works associated with electrical engineering maintenance activities. Date of Review: ……………….. Authorised Person: ……………….. Name of Skilled Person: ……………….. The Authorised Person (Electrical System) should check that a copy of the Skilled Person’s CV together with copies of all relevant training certificates and/or educational qualifications are held within the organisation’s Competency Management System (CMS). The Authorised Person (Electrical Systems) should establish answers to the following: 1. How long has Skilled Person been employed by the organisation?…….years

2. Is the Skilled Person able to demonstrate suitable qualifications?.......Yes/No 3. Is the Skilled Person experienced in the type of work in which they are engaged?.......Yes/No 4. Is the Skilled Person likely to be engaged in ‘other’ work, which may impact Competence?.......Yes/No

(If ‘Yes’ please annotate below in observation/restrictions/further actions) 5. Is there evidence of formal relevant training for the work in which they are engaged?.......Yes/No 6. Is additional training required? (If yes, give details below)…….Yes/No 7. Has instruction in Emergency First Aid been received in the last 3 years?......Yes/No The Authorised Person should now establish the Skilled Person's level of technical knowledge and understanding of the safe system of work and the dangers associated with low/high voltage electrical systems, control and instrumentation. This can be brief and should be appropriate to the work being undertaken. (Separate notes/evidence should be recorded in support of justification or claim to technical knowledge and understanding) 8. Is the technical knowledge of the employee satisfactory?.......Yes/No The Authorised Person should inspect the Skilled Person’s toolkit, e.g. insulated tools, to ensure that all equipment is available, in good repair and calibrated (where appropriate). Supplementary asset inventory details should be provided on a continuation sheet, where necessary, annotated with any comments or observations. 9. Is the tool kit of a suitable standard for the works to be carried out?.......Yes/No

(If ‘No’ Please define) 10. Is the Skilled Person familiar with and have a valid copy of the organisations Corporate Safety Policy and

Rules?.......Yes/No (If ‘No’, the Authorised Person should issue a copy of document, explain them and obtain a signed record using the appropriate paperwork and file with the other training information)







held locally as part of the Electrical Safety Document Register.

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The Authorised Person should inspect the Skilled Person’s PPE, where provided, to ensure that all safety equipment is available and in good repair. Where felt necessary by the Authorised Person, the Skilled Person should be asked to demonstrate the pre-use check and assessment process. PPE should only be used as a last resort and the Risk Control Hierarchy must be properly adhered to. The Authorised Person should review task related Risk Assessments if the use of PPE appears unrealistic or disproportionate to the tasks being performed. 11. Does the Skilled Person have suitable PPE and are they aware of how to properly use the PPE

provided?.......Yes/No 12. List below locations and installations upon which work will be undertaken:

a…………………… b…………………… c…………………… d……………………

13. Is the Skilled Person familiar with the environment and aware of the location of fire fighting equipment at

each location?.......Yes/No The Authorised Person shall record here the reasons why the Skilled Person was unsuitable or any reservations or work restrictions, also, any further training or actions to be taken before work commences. ............................................................................................................................................................................. ............................................................................................................................................................................. ............................................................................................................................................................................. ............................................................................................................................................................................. ............................................................................................................................................................................. ............................................................................................................................................................................. ............................................................................................................................................................................. ............................................................................................................................................................................. ............................................................................................................................................................................. ............................................................................................................................................................................. ............................................................................................................................................................................. ............................................................................................................................................................................. ............................................................................................................................................................................. Having interviewed the above named person I am satisfied as to their competence, subject to any restrictions recorded above, to undertake work on Electrical Systems. As the Authorised Person it is my assessment that this Skilled Person should be further reviewed at a maximum period of ……… months or sooner should there be any material change that would impact upon the person being unable to discharge their responsibilities either competently or safely. SIGNED:..................................... Authorised Person (Electrical Systems) DATE: ................ I confirm that I accept the review as detailed above as a Skilled Person (Electrical Systems) for the above sites/locations and that I will at all times comply with all statutory or other regulations, conditions and instructions, maintaining the required level of training/qualifications. Where I feel unable to exercise my responsibilities competently or safely I will advise my Line Manager or the Authorised Person immediately. SIGNED:..................................... Skilled Person (Electrical Systems) DATE: ................







held locally as part of the Confined Space Document Register.

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Competency Assessment/Checklist to confirm ongoing suitability of a Skilled Person — Confined Spaces

This is a formal record of a review of a ‘Skilled Person’ by the appointed Authorised Person (Confined Spaces). It is intended that this review is conducted in the form of an ‘Interview’. This form should be used for the demonstration and recording of the essential information required to support a claim on Competency in respect of works associated with potential and permanent Confined Spaces. Date of Review: ……………….. Authorised Person: ……………….. Name of Skilled Person: ……………….. The Authorised Person (Confined Spaces) should check that a copy of the Skilled Person’s CV together with copies of all relevant training certificates and/or educational qualifications are held within the organisation’s Competency Management System (CMS). The Authorised Person (Confined Spaces) should establish answers to the following: 1. How long has Skilled Person been employed by the organisation?…….years

2. Is the Skilled Person able to demonstrate suitable qualifications?.......Yes/No

Note: The holder of a City & Guilds Certificate 5831 may be deemed to have achieved an adequate training standard for most common Confined Spaces work activity

3. Is the Skilled Person experienced in the type of work in which they are engaged?.......Yes/No

4. Is the Skilled Person likely to be engaged in ‘other’ work, which may impact Competence?.......Yes/No

(If ‘Yes’ please annotate below in observatio/restrictions/further actions) 5. Is there evidence of formal relevant training for the work in which they are engaged?.......Yes/No

Note: In the absence of this level of certification, the guidance below may be used in assessing the adequacy of the training received, in relation to the task.

Task: Routine work (inspection /meter reading etc.) in a potential Confined Area Training Standard: Confined Space awareness toolbox talk; this may be delivered by the AP (Confined Spaces)

Task: Other work in a potential Confined Area Training Standard: Recognised and accredited 1 day Confined Spaces awareness course for the work team; this may be delivered by an AE (Confined Spaces) or as delegated by the AE (Confined Spaces).

Task: Work in a Confined Space that warrants provision of Escape Breathing Apparatus Training Standard: Recognised and accredited 2-day Confined Spaces working course that includes theory and practice in using Escape Breathing Apparatus

Task: Work in a Confined Space that warrants provision of Self Contained Breathing Apparatus Training Standard: Recognised and accredited 3-day Confined Spaces working course that includes theory and practice in using Self Contained Breathing Apparatus

6. Is additional training required? (If yes, give details below)…….Yes/No

7. Has instruction in a relevant First Aid training course in relation to the activities being undertaken been

achieved in the last 3 years?......Yes/No







held locally as part of the Confined Space Document Register.

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8. Is a copy of the Skilled Person’s annual medical available (essential if escape or self-contained BA is to be used)?.......Yes/No (If ‘No’ then this will need to be addressed urgently)

The Authorised Person should now establish the Skilled Person's level of technical knowledge and understanding of the safe system of work and the dangers associated with Confined Spaces working is understood. This can be brief and should be appropriate to the work being undertaken. 9. Is the technical knowledge of the employee satisfactory?.......Yes/No 10. Is the Skilled Person familiar with and have a valid copy of the organisations Corporate Safety Policy and

Rules?.......Yes/No (If ‘No’, the Authorised Person should issue a copy of document, explain them and obtain a signed record using the appropriate paperwork and file with the other training information)

The Authorised Person should inspect the Skilled Person’s PPE, including BA equipment, to ensure that is available and in good repair. Where felt necessary by the Authorised Person, the Skilled Person should be asked to demonstrate the pre-use check and assessment process for the PPE provided. 11. Does the Skilled Person have suitable PPE and are they aware of how to properly use the PPE

provided?....Yes/No

12. The Authorised Person should check that the Confined Space register is correct and discuss any discrepancies with the Skilled Person; any anomalies should be highlighted below:

.............................................................................................................................................................................

............................................................................................................................................................................. 13. Is the Skilled Person familiar with the environment and aware of the location of firefighting equipment at

each location?.......Yes/No The Authorised Person shall record here the reasons why the Skilled Person was unsuitable or any reservations or work restrictions, also, any further training or actions to be taken before work commences. ............................................................................................................................................................................. ............................................................................................................................................................................. ............................................................................................................................................................................. ............................................................................................................................................................................. ............................................................................................................................................................................. ............................................................................................................................................................................. ............................................................................................................................................................................. ............................................................................................................................................................................. Having interviewed the above named person I am satisfied as to their competence, subject to any restrictions recorded above, to undertake work within potential or permanent Confined Spaces. As the Authorised Person it is my assessment that this Skilled Person should be further reviewed at a maximum period of ……… months or sooner should there be any material change to the work areas identified that would impact upon the person being unable to discharge their responsibilities either competently or safely. SIGNED:..................................... Authorised Person (Confined Spaces) DATE: ................ I confirm that I accept the review as detailed above as a Skilled Person (Confined Spaces) for the above sites/locations and that I will at all times comply with all statutory or other regulations, conditions and instructions, maintaining the required level of training/qualifications. Where I feel unable to exercise my responsibilities competently or safely I will advise my Line Manager or the Authorised Person immediately. SIGNED:..................................... Skilled Person (Confined Spaces) DATE: ................






Completed forms and other evidence in support of this review and claim to competence shall be maintained within the organisations Competency Management System (CMS) or with the Human Resources Function. A copy will also be held

locally as part of the relevant Safety Document Register.

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Competency Assessment/Checklist to confirm ongoing suitability of Contractors — General Services and Systems

When engaging Contractors there is an explicit duty upon the employing entity to ensure that both the contracting organisation and the staff they provide possess the necessary capability and competency to undertake the work for which they are engaged in a safe and professional manner. The responsible person could use this form to assist in evidencing that the necessary checks have been made to discharge this duty in a demonstrable manner. Importantly whilst this review should be undertaken with the Contractors Senior Representative, It is also intended that this review is conducted in the form of an ‘Interview’. As such the appropriate preparation will be necessary so as to be able to provide the documentary evidence to substantiate the competence of the staff being put forward to work under this commission. It is recommended therefore that this form is shared in advance so as to ensure the process runs as smoothly as possible. SECTION 1: Contractor’s details Name of Company: ............................................................................................................................................. Address: .............................................................................................................................................................. ............................................................................................................................................................................. ............................................................................................................................................................................. Tel No: ................................................................................................................................................................ Fax No: ............................................................................................................................................................... E-mail contact for further information: ................................................................................................................ Type of work carried out: .................................................................................................................................... ............................................................................................................................................................................. ............................................................................................................................................................................. ............................................................................................................................................................................. SECTION 2: Safety policy 2.1 Do you have a Safety Policy?.......Yes/no 2.2 Do you employ fewer than five people?.......Yes/No SECTION 3: Health, Safety and Competency services and/or management 3.1 Do you have a corporate Safety Department, use internal Safety Advisors or engage external support

through an external Safety Advisor?.......Yes/No (if ‘No, please explain how you fulfil your health and safety obligations below in section 3.3)








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3.2 Please provide full details: names, qualifications, locations or in case of external consultancy give names and addresses.

.............................................................................................................................................................................

.............................................................................................................................................................................

.............................................................................................................................................................................

.............................................................................................................................................................................

.............................................................................................................................................................................

.............................................................................................................................................................................

............................................................................................................................................................................. 3.3 Provide details of services provided by your company or the external consultancy named in 3.2 Information and advice…….Yes/No

Accident Investigation…….Yes/No Safety Audit…….Yes/No Competency Assessment…….Yes/No Developmental Needs Analysis…….Yes/No Training needs management, sourcing and delivery…….Yes/No

If your answer to 3.1 is ‘No’, how do you meet the following Health, Safety and Competence requirements? 3.4.1 Obtain information and advice ............................................................................................................... ............................................................................................................................................................................. ............................................................................................................................................................................. ............................................................................................................................................................................. 3.4.2 Investigate accidents ............................................................................................................................. ............................................................................................................................................................................. ............................................................................................................................................................................. ............................................................................................................................................................................. 3.4.3 Ensure work on site is carried out in accordance with legal requirements and policy ........................... ............................................................................................................................................................................. ............................................................................................................................................................................. ............................................................................................................................................................................. 3.4.4 Ensure that you are properly investing within your workforce and that they obtain and maintain the

required level of competence and capability to deliver the service for which you are engaged ............................................................................................................................................................................. ............................................................................................................................................................................. .............................................................................................................................................................................








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SECTION 4: Experience 4.1 Have you carried out work of this nature before?.......Yes/No

(If ‘yes’ please provide details and references and append to this record document) 4.2 If work of this nature has not been undertaken before, please describe why you consider your

organisation both competent and capable of delivering this service. This may require the provision of ‘sample’ Method Statements and Risk Assessments together with evidence of resource competency all of which may be subject to development and further review before any work will be allowed to commence.

SECTION 5: Training and consultation 5.1 Have all the Directors and Managers within your Company attended a Health and Safety Course within

the last five years?.......Yes/No 5.2 Have all the Site Supervisors and Operatives within your Company attended Health and Safety Courses

within the last three years?......Yes/No 5.3 Are the Site Supervisors within your Company trained in First Aid?.......Yes/No 5.4 Have your operatives received appropriate training for their work, use of special equipment and in the

general Health and Safety aspects of your work? …….Yes/No 5.5 Do you carry out induction training for new employees?.......Yes/No 5.6 What method do you adopt for informing your employees, self-employed and subcontractors of Health

and Safety risks applicable to projector maintenance works? ............................................................................................................................................................................. ............................................................................................................................................................................. ............................................................................................................................................................................. SECTION 6: Sub-contractors 6.1 Do you ensure that subcontractors have an adequate policy for Health and Safety?.......Yes/No 6.2 Provide a schedule of those elements of work, if any, which you would propose to or normally

subcontract ............................................................................................................................................................................. ............................................................................................................................................................................. ............................................................................................................................................................................. 6.3 Please define how you specifically manage the Health and Safety and competency standards of sub-

contract resources and what governance is undertaken in respect of validating any claims made by your supply chain?

.............................................................................................................................................................................

.............................................................................................................................................................................

.............................................................................................................................................................................








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SECTION 7: CDM Regulations (if not applicable go to section 9) Provide a typical example of a Construction Phase Health and Safety Plan as required by the CDM Regulations. (if applicable) SECTION 8: Documentation Please supply copies of the following 8.1 Employees liability Insurance 8.2 Public liability insurance 8.3 Health and Safety Policy SECTION 8: Statement I/We confirm that the information provided above is accurate, to the best of our knowledge and may be used in assessing our competence and suitability for appointment. I/We further accept that upon successful receipt of a commission we will be required to provide specific resource competence and Health and Safety information in relation to those resources put forward for said commission. Signature…………….. Name……………..….. Position ………..…….. Date…………………..






Certificate together with other completed forms and evidence shall be maintained within the organisations Competency Management System (CMS) or with the Human Resources Function.

A copy will also be issued to the Competent Person named.

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Certificate of Competence (Model) This Certificate is valid until [Insert date here], and relates only to the [Insert discipline here] systems and installations listed below. If found, please return this Certificate to: [Insert Company or specific Contract name and address] This is to Certify that [Insert name of operative here] whilst in the employ of [Insert Company name here] and working at [Insert site address or contract name here] is considered a Competent Person [Insert discipline here] by virtue of the skill, knowledge and training demonstrated and assessed through formal review of qualification, experience, training and technical knowledge as well as asset, system and environmental familiarity. This certificate extends to only those Installations and/or equipment listed below: ..................................................................................................................................................... ..................................................................................................................................................... ..................................................................................................................................................... ..................................................................................................................................................... ..................................................................................................................................................... ..................................................................................................................................................... ..................................................................................................................................................... Signed........................................................................... [Insert Title Here] Issue Date ......................................... Expiry Date ............................................. Notes and/or restrictions: ..................................................................................................................................................... ..................................................................................................................................................... ..................................................................................................................................................... ..................................................................................................................................................... ..................................................................................................................................................... ..................................................................................................................................................... ..................................................................................................................................................... ..................................................................................................................................................... ..................................................................................................................................................... ..................................................................................................................................................... ..................................................................................................................................................... .....................................................................................................................................................




CONTACT US AT:

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Membership enquiries: 020 8772 3650Events: 020 8772 3660General enquiries: 02 8675 5211

General information e-mail: [email protected]: http://www.cibse.org

CIBSE is a Registered Charity No. 278104

Further publications in the CIBSE Knowledge Series:

KS01: Reclaimed waterKS02: Managing your building servicesKS03: Sustainable low energy cooling: an overviewKS04: Understanding controlsKS05: Making buildings workKS06: ComfortKS07: Variable flow pipework systemsKS08: How to design a heating systemKS09: Commissioning variable flow pipework systemsKS10: Biomass heatingKS11: Green roofsKS12: Refurbishment for improved energy efficiency: an overviewKS13: RefrigerationKS14: Energy efficient heatingKS15: Capturing solar energyKS16: How to manage overheating in buildingsKS17: Indoor air quality and ventilationKS18: Data centres: an introduction to concepts and designKS19: HumidificationKS20: Practical psychrometry

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